Friday, October 20. 2023

SEC Adopts Rule to Enhance Short Sale Disclosure, Amends CAT NMS Plan for Short Sale Data Collection

New Rule 13f-2, related Form SHO, and an amendment to the national market system plan (NMS Plan) governing the consolidated audit trail (CAT) were adopted by the SEC. The goal of these changes is to enhance disclosure requirements for short sale-related data. Continue reading "SEC Adopts Rule to Enhance Short Sale..." »
Posted by
LeAnn Dey
in SEC at 10:29

SEC Approves Rule to Enhance Disclosures in the Securities Lending Market

On October 13th, the SEC announced that it voted to adopt Rule 10c-1a under the Securities Exchange Act of 1934 to increase transparency requirements and improve the efficacy of the securities lending market. The rule requires certain persons to report information about securities loans to a registered national securities association (RNSA). Currently, the Financial Industry Regulatory Authority (FINRA) is the only RNSA. Continue reading "SEC Approves Rule to Enhance Disclosures in the..." »
Posted by
LeAnn Dey
in Investor Education, SEC, XBRL at 08:50
(Page 1 of 1, totaling 2 entries)